CNJCG Seminar – Risk Management & Compliance Monitoring
- This event has passed.
Date: Thursday, September 13, 2018 | 9:00 AM - 11:00 AM
Venue: Mercadien’s Office,
3625 Quakerbridge Road
Hamilton,
NJ
08619
United States
Description: Tightening regulations, potential litigation, monetary liabilities, reputational risks. The exposures for all operational areas, including investment advisory, keep increasing.
If your bank and fiduciaries want a stronger grasp on the latest compliance trends and a new playbook for effective risk management, join us for this complimentary breakfast seminar, where attendees will learn strong risk management provides the best risk defense, and to:
- Identify key elements for implementing an effective compliance monitoring program
- Assess and prep for the most targeted areas of regulatory review and auditor focus
- Establish best practices for board governance and oversight
- Identify key risks related to trust and investment management activities
Schedule:
9:00 – 9:30 A.M. – Breakfast & Networking
9:30 – 11:00 A.M. – Presentation
1.5 CPE credits in Specialized Knowledge are offered at this free, group-live seminar. Program level – basic. No advance preparation or prerequisites required.
Presenter: Raji Sathappan, CPA, MBA, CRCM, CAMS and Kathleen J. Root, MS, CTA, CFSA, CBA, Directors in Mercadien’s Financial Institutions Services Group
Refund/Cancellation Policy: Since this program will be presented free of charge, there will be no refunds issued. For more information regarding complaint and/or program cancellation policies, please contact our office at 609-689-9700.
Please note: Attendance may be limited. If you have any questions or would like more information about this event, contact us by emailing events@mercadien.com or calling 609-689-9700.